Tammy Lynn Swann

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2012 → 05/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 10/2012 → 05/2023
  Spc
  Ann Arbor, MI
• 05/2023 → Present
  Lpl Financial Llc
  San Antonio, TX

Previous Registrations

• 2012-10-19 → 2023-05-22
  Spc
  Ann Arbor, MI
  San Antonio, TX
• 2011-06-29 → 2012-11-01
  Ameriprise Financial Services, Llc
  San Antonio, TX
• 2008-08-27 → 2011-07-06
  Investment Professionals, Inc.
  Chandler, IN
  Newburgh, IN
  Lynnville, IN
  Paragould, AR
  Woodville, TX
  San Antonio, TX
  Riverwoods, IL
• 2006-04-17 → 2008-08-28
  Ameriprise Advisor Services, Inc.
  San Antonio, TX

Other Businesses

1. 07/10/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 5/22/2023 - 3 Hours Per Month/ 1 Hour During Trading - Time Spent 3% 2. 07/10/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 5/22/2023 - 160 Hours Per Month/ 8 Hours During Trading - Time Spent 90%

Exams

• S66 Uniform Combined State Law Examination
  2006-04-14

Other Names

• Tammy L. Swann
• Tammy Lynn Wesch
• Tammy Lynn Swann
• Tammy Lynn Solimine